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EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

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REC 3.22 Restriction of, or instruction to close out, open positions

As Published: 2011

REC 3.22 Restriction of, or instruction to close out, open positions

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REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

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SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

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TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

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SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

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SUP 16.24 Retirement income data reporting

As Published: 2017

SUP 16.24 Retirement income data reporting

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REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

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DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

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MAR 8.2 Requirements for benchmark submitters [deleted]

As Published: 2018

MAR 8.2 Requirements for benchmark submitters [deleted]

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COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

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MAR 9.3 Notification and information

MCOB 3A.1 Application and purpose

LR 9.5 Transactions

SUP 16.17 Remuneration reporting [deleted]

SUP 12.1 Application and purpose

SYSC 4.5

MAR 9.2 Authorisation and verification

CASS 1A.2 CASS firm classification

SYSC 18.3 Internal arrangements

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)